What's the best way to deal with warning an employee about violating workplace rules?

October 1, 2007

The typical progressive discipline formula begins with a verbal warning and progresses to a written and then a final written warning before termination. Usually the impetus that moves the process from one stage to the next is a repeated violation of the same rule or type of rule -- for example, repeated tardiness or unexcused absences. Disciplinary actions include the following:

• Oral warnings.
• Written warnings.
• Suspension.
• Discharge.

Oral warnings
When giving an oral warning, the employer should talk to the employee in private. Oral warnings are proper for infractions of a relatively minor degree. The supervisor should inform the employee at all times that they are receiving an oral warning and that the employee is being given an opportunity to correct their behavior. It is important to tell the employee:

• The number of days the warning will continue.
• That failure to correct the behavior will result in more severe disciplinary measures.

Finally, a record of the oral warning should be made and placed in the employee's personnel file.

Written warnings
If the employee continues to disregard the oral warning or the infraction is severe, the supervisor should issue a written warning. The supervisor should give a detailed description of the infraction in the warning and sign the notice.

Take the following steps when issuing a written warning:

• Discuss the warning with the employee.
• Make sure the employee understands the reasons for the disciplinary action.
• Inform the employee of the number of days the warning will operate.
• Hand the employee a copy of the warning at the time of the discussion.
• Obtain a signature with a date on the copy acknowledging the employee's receipt.
• Place the original warning in the employee's personnel file.

Suspension
This is the most severe form of discipline -- short of termination -- given by the supervisor. Supervisors should reserve suspension for severe infractions of a rule, standards or for excessive violations. Usually, the employee has already received a written warning and has made little or no effort to improve performance or behavior. It should be applied only after thorough evaluation by the supervisor and their superiors.

Follow these steps when imposing a suspension:

• Set forth all the facts leading up to the reason for the disciplinary suspension and the duration of the suspension.
• Inform the employee of the reasons for the disciplinary action and give the employee an opportunity to respond before the suspension is imposed.
• The original notice of suspension should be placed in the employee's personnel file.

Discharge
If the employee fails to improve after the supervisor has issued a suspension, the only option available to the employer is termination. When the supervisor is confronted with a close call as to whether termination is proper, they should consider the "last chance" letter. This tells the employee that they should be terminated, but that the employer is willing to offer one more chance. However, the next incident of any form of misconduct will result in immediate discharge.

Summary discharge
Progressive discipline is an employee benefit. Employers do not have to offer progressive discipline to someone who breaks the law. If an employee engages in illegal activity or other egregious conduct (such as gross insubordination, gross negligence or drug use on company premises), employers most likely have a clear shot at a quick and defensible termination.

To buy some extra time, an employer can place a worker on "investigatory" suspension pending further review and final decision.
Employers must remember that discipline should not be administered in a vacuum. It must logically and sequentially follow upon previous disciplinary actions documented in the employee's file. Employers should review the personnel file before completing a write-up to see if offenses can be "bundled" to move an employee further along the progressive discipline process.

This information is adapted from Ceridian's HR Compliance Reference System. Contact your Ceridian representative for more information about Ceridian's compliance solutions.